Good Records Management Practices - GRS

1 GGGOOOOOODDD RRREEECCCOOORRRDDDSSS MMMAAANNNAAAGGGEEEMMMEEENNNTTT PPPRRRAAACCCTTTIIICCCEEESSS GOVERNMENT Records SERVICE OCTOBER 2011 BLANK PAGE TABLE OF CONTENTS FOREWORD 1 Chapter 1 OVERVIEW OF Records Management 2 Chapter 2 Records Management policy 5 Chapter 3 RECORDKEEPING SYSTEMS 8 Chapter 4 Records Management PROCESSES AND CONTROLS 10 Chapter 5 PROTECTING VITAL Records 22 Chapter 6 MONITORING AND AUDITING 24 Chapter 7 TRAINING 25 Chapter 8 ELECTRONIC Records Management 26 Annex I Checklist for Proper Records Management Practices 31 Annex II Management of Archival Records 38 Annex III Guidelines on Preservation of Archival Records 42 Annex IV Guidelines on Establishing a Vital Records Protection Programme 52 Annex V References 55 BLANK PAGE 1 FOREWORD Records are valuable assets of organizations. Good Records Management not only helps protect Records but also enhances organizations operational efficiency.

2 Recognizing the importance of good Records Management and of preserving Hong Kong s documentary heritage, the Government of the Hong Kong Special Administrative Region (the Government) has developed its Records Management policy and procedures with regard to international standard ( ISO 15489 Information and documentation - Records Management published by the International Organization for Standardization in 2001) and international best Practices . 2. Records Management is an important function of an organization. We believe that good and proper recordkeeping is evidence of a well-governed organization and should be seen as an integral part of, rather than incidental to, any business. In terms of strengthening corporate governance and promoting good Management Practices , we see definite merits of sharing good Records Management Practices and procedures with government-owned or funded statutory bodies.

3 3. By setting out the principles and good Practices relating to Records Management , and providing checklist and guidelines, this document aims to help government-owned or funded statutory bodies and their staff to assess the way in which they are managing their Records and to pursue improvements if necessary. FOREWORD GOOD Records Management Practices 2 1. OVERVIEW OF Records Management WHAT ARE Records ? An organization receives and processes tremendous amount of information day in and day out but not all of them are Records . A record is invariably linked to an organization s official business and maintained as evidence. Accordingly, Records can be defined as any recorded information or data in any physical format or media created or received by an organization during its course of official business and kept as evidence of polices, decisions, procedures, functions, activities and transactions.

4 For example, a driving licence application will be kept as a record by the Transport Department of the Government as evidence of its business. Content, context and structure of a record In order to serve as evidence, a record should be complete and must possess the following three elements - Content this refers to the information or ideas the record contains; Context this refers to the information about the circumstances in which the record is created, transmitted, maintained and used ( who created it, when, to whom it was sent, why); and Structure this means the physical and logical format of the record , and the way parts of the record relate to each other ( the structure of an e-mail record covers its header, body, attachments and corresponding reply). WHAT IS Records Management ?

5 Records Management refers to the whole range of activities which an organization should perform to properly manage its Records . The key activities include setting Records Management policy , assigning responsibilities, establishing and promulgating procedures and guidelines, as well as designing, implementing and administering recordkeeping systems. CHAPTER 1 OVERVIEW OF Records Management GOOD Records Management Practices 3 In the Government, Records Management includes the planning, directing, organizing, controlling, reviewing, training and other managerial activities involved with respect to the creation, classification and indexing, distribution, handling, use, tracking, storage, retrieval, protection and disposal of Records to achieve adequate and proper documentation of government policies, decisions and transactions as well as efficient and cost-effective operation of government bureaux and departments (B/Ds).

6 All organizations need to identify the regulatory environment that affects their Records Management . The regulatory environment may comprise such elements as laws and regulations, codes of best Practices , code of conduct etc. For instance, the retention period of a particular type of Records before they can be destroyed may be governed by a law or a code of practice. Regulatory environment Some laws and codes may have implications on Records Management of an organization, for example - Evidence Ordinance (Cap. 8) - proper keeping of Records to ensure its legal admissibility; Personal Data (Privacy) Ordinance ( ) - timely destruction of personal data in accordance with Privacy Commissioner Office s Code of Practice on Human Resource Management ; Limitation Ordinance ( ) - retention of relevant Records for the specified limitation periods to serve as evidence in possible legal proceedings; Electronic Transactions Ordinance ( ) - admissibility of electronic Records in a court of law; and Code on Access to Information - proper organization of Records to facilitate their efficient retrieval to timely respond to public access requests.

7 GOOD Records Management Practices CHAPTER 1 OVERVIEW OF Records Management 4 WHY IS Records Management IMPORTANT? Records Management is important because it supports an organization to - make decisions based on evidence; meet operational, legal and regulatory requirements; be open and accountable; enhance operational efficiency and effectiveness; and maintain organization or collective memory. A comprehensive checklist to assess whether an organization has put suitable arrangements in place to manage its Records is at Annex I. GOOD Records Management Practices CHAPTER 1 OVERVIEW OF Records Management 5 2. Records Management policy OBJECTIVE OF Records Management policy Good Records Management starts with a policy which reflects an organization s needs. The objective of the policy should be the creation and Management of authentic, reliable, complete and usable Records which are capable of supporting business functions and activities of the organization for as long as they are required.

8 Characteristics of a record Authenticity, reliability, integrity and usability are the characteristics of a record . The purpose of any Records Management policy , Practices , guidelines and procedures is to ensure that Records should have these characteristics, as follows - Authenticity - an authentic record is one that can be proven (i) to be what it purports to be; (ii) to have been created or sent by the person purported to have created or sent it; and (iii) to have been created or sent at the time purported; Reliability - a reliable record is one whose contents can be trusted as a full and accurate representation of the transactions, activities or facts to which they attest and can be depended upon in the course of subsequent transactions or activities; Integrity - the integrity of a record refers to its being complete and unaltered.

9 And Usability - a usable record is one that can be located, retrieved, presented and interpreted. It should be capable of subsequent presentation as directly connected to the business activity or transaction that produced it. CHAPTER 2 Records Management policy GOOD Records Management Practices 6 An organization should formulate and communicate its Records Management policy , set out the organization s intentions on Records Management and identify a senior staff member(s) with lead responsibilities for Records Management to enhance governance in this aspect. A Records Management policy should be underpinned by procedures and guidelines for compliance by staff. Records Management policy of the Government The Government s Records Management policy requires the implementation in each bureau and department of a comprehensive Records Management programme that will - make and keep full and accurate Records as long as they are required; minimize the costs of managing government Records ; provide quality services to users; provide necessary security for government information; facilitate public access to Records and information that encourages better understanding of government policies and operations; and identify, preserve and provide access to archives that have continuing or permanent value for research, educational, cultural and other related purposes.

10 Records Management RESPONSIBILITIES Defining and assigning Records Management responsibilities and promulgating such responsibilities within an organization are crucial to good Records Management and to meeting the needs of internal and external stakeholders. The authorities and responsibilities for Records Management of different employees within an organization should also be clearly defined, including senior Management , Records managers, Records Management staff and all staff who create, receive and keep Records as part of their daily work. GOOD Records Management Practices CHAPTER 2 Records Management policy 7 Good Practices An organization should - formulate and promulgate its Records Management policy , in the form of Records Management policy statement setting out what the organization intends to do in respect of Records Management ; formulate and promulgate Records Management requirements, guidelines, procedures and best Practices for compliance and reference by its staff; review and improve Records Management policy , recordkeeping systems, Practices , guidelines and procedures whenever appropriate; develop and provide Records Management training for its staff.